May 2016 Enforcement Overview Complaint process Expert reviews Investigation process Citation and Fines Disciplinary process Roles and responsibilities of HQE and DCA Complaint Process ID: 600326
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Enforcement Overview and Presentation May 2016Slide2
Enforcement OverviewComplaint processExpert reviewsInvestigation processCitation and FinesDisciplinary processRoles and responsibilities of HQE and DCASlide3
Complaint ProcessWho does the Board license/register?PsychologistsRegistered psychologists Psychological AssistantsSlide4
Complaint ProcessWho may file a complaint?AnyoneSlide5
Complaint ProcessWhat are the most common types of complaints the Board receives?Sexual misconduct with a patientViolating the patient’s confidentiality Providing services for which the individual has not been trained or licensedDrug abuseUnprofessional, unethical or negligent actsSlide6
Complaint ProcessWhat types of complaints are outside the Board’s jurisdiction?Fee or billing disputesPersonality conflictsPersons who are licensed by other BoardsSlide7
Complaint ProcessHow are complaints filed?On-lineBy mailSlide8
Complaint ProcessWhat happens when a complaint is filed?Complainant is notified with 10 days Enforcement analyst assignedDesk investigation initiatedComplaint OutcomesRefer to expertClosedSlide9
Expert ReviewIf a case is referred to an expert, what next?Expert opines on case within 30 daysBoard staff reviews Expert’s findingsPossible OutcomesOutcome A-ClosedOutcome B-Educational letterOutcome C-citation issuedOutcome D-Refer to HQIU for formal investigationSlide10
Outcome A-ClosedWhy is a case closed with no action?No violation foundIf the review determines that the actions of the psychologist were not below the Standard of Care, the Board has no authority to proceed and the complaint is closed. If the complaint involves a minor violation, it may be handled through a citation or an educational letter. If the complaint involves a more serious violation, it will be referred for formal investigation by a trained peace officerSlide11
Outcome B-Educational LetterWhy is an educational letter issued?Minor violations allegedNo patient harmSlide12
Outcome C-Citation and FineWhy is a citation issued?Minor violations are foundAn Educational Letter has already been issuedUnlicensed practice is discoveredSlide13
Outcome D-Refer case to Health Quality Investigation Unit (HQIU)Why would a case be referred to HQIU?If a serious violation is found by expertSlide14
Investigation ProcessTwo types of investigationsDesk and FormalSlide15
Investigation ProcessDesk InvestigationsPerformed by an Enforcement Analyst (EA) or Special Investigator (SI)EA or SI determines if: Complaint falls within Board’s jurisdictionComplaint involves care provided by licensee A minor violation occurred A serious violation occurredSlide16
Investigation ProcessFormal InvestigationsPerformed by peace officersUpon completion of the investigation the case may be:ClosedReferred to the Attorney General’s OfficeReferred to the local District Attorney’s Office Slide17
Citation and FinesIssued for minor violations that do not warrant formal disciplinary actionsSlide18
Disciplinary ProcessWhat happens during the Discipline ProcessAttorney General determines if action should be initiated by filing an:AccusationStatement of IssuesSlide19
Disciplinary ProcessAdministrative Hearing /Stipulated SettlementBoard VoteSlide20
Role of HQE in the Disciplinary ProcessHQE’s role and responsibilitiesSlide21
Role of DCA in the Disciplinary ProcessDCA’s role and responsibilities Slide22
Any Questions?